1 2 Please stand by! The webinar will begin shortly. Join the conference call by dialing the conference number in your Invitation or Reminder Emails. Please put your phone on mute. 2 Be sure to have all Session 4 materials ready before the session starts. You’ll find the link to the materials in your Invitation or Reminder Emails. 1

Session 4 Overview Take-Home Activity Debrief Module 3—Access Essential Records Module 4—Incorporate Essential Records into COOP Plans Course Summary

Take-Home Activity Debrief Activity: Determine Protection Strategies and Measures—Part 2 Handout 3.2—Table 2: My Agency’s Protection Strategies and Measures

Module 3—Access Essential Records Introduction and Objectives

Module 3 Objectives At the completion of this module, you will be able to: Prioritize essential records Specify timeframes for essential records availability Develop procedures to ensure access to and security of essential records

Lesson 1: Ensure Access to Essential Records Module 3—Access Essential Records Lesson 1: Ensure Access to Essential Records 6 6

Make Essential Records Available During an emergency, could your agency access its essential records? Photo courtesy of NARA

Make Essential Records Available (cont’d.) Agencies must be prepared to access their essential records. Retrieval procedures should require only routine effort. All equipment needed to read essential records must be available.

Prioritize Access to Essential Records Based on the type of essential record: Necessary for emergency response Necessary to resume or continue operations Protects the health, safety, property, and rights of residents Requires massive resources to reconstruct Documents the history of communities and families Priority 1: First 0–12 hours Priority 2: First 12–72 hours Priority 3: After first 72 hours

Priority Levels and Timeframes for Accessing Essential Records Priority 1—First 12 hours Needed immediately, to respond to the incident Priority 2—First 12–72 hours Needed to manage the incident and resume operations Priority 3—After first 72 hours Needed to continue essential functions and for long-term recovery

Access Records in Storage Priority 1 Store in close proximity and have 24‑hour availability Priorities 2 and 3 Store in facilities farther away, with less need for quick access Photo courtesy of NARA

Access Priorities Table Level Definition Access Examples Timeframe for Access Priority 1 Records essential for response and emergency operations and therefore needed immediately Physical protective storage is close to disaster response site for immediate access. Electronic replication methods are available for immediate access to information. Emergency action plan Business continuity plan Vital records manual Current facility drawings Personnel security clearance files Within the first 0–12 hours Priority 2 Records essential for quick resumption and continuation of business following an emergency Physical protective storage is close to disaster recovery site for quick business resumption. Electronic methods are quickly accessible, and backups can be quickly restored. Current client files In-progress Accounts Payable and Accounts Receivable Research documentation Current contracts and agreements Within the first 12–72 hours Priority 3 Records needed to continue essential functions if normal agency information were unavailable for a prolonged period Physical protective storage is accessible and outside of the disaster area. Accounts Payable and Accounts Receivable files Existing contracts and agreements Unaudited financial records After the first 72 hours This chart is based in part on ARMA International, ANSI-ARMA 5-2003 Vital Records: Identifying, Managing, and Recovering Business-Critical Records

“Grab and Go” Kits Certain agency officials will be on call immediately following the emergency. They should have “Grab and Go” kits that contain specific essential records. Develop procedures to keep “Grab and Go” kits up-to-date.

Cycling Cycling entails periodically replacing or updating obsolete copies of essential records with current copies. Cycling may be done: Daily Weekly Quarterly Annually Develop a duplication schedule.

Develop Procedures to Ensure Access to Essential Records To ensure access, agencies should develop and document: Policies Delegations of authority Responsibilities of agency officials Procedures governing the essential records program

Determine Timeframes for Accessibility Activity Determine Timeframes for Accessibility

Materials for the Activity Handout 4.3—Table 1: DPR’s Priorities and Timeframes for Accessibility

Module 4—Incorporate Essential Records into COOP Plans Introduction and Objectives

Module 4 Objectives At the completion of this module, you will be able to: Identify the components of the Essential Records Template Determine the information needed to complete the Essential Records Template Explain how to integrate protection of essential records into an agency COOP Plan

Lesson 1: The Essential Records Template Module 4—Incorporate Essential Records into COOP Plan Lesson 1: The Essential Records Template 20 20

Essential Records and COOP Plans Essential records should be part of the COOP Plan. Photo courtesy of NARA—New Orleans— post-Hurricane Katrina 2005—Contractor response

Essential Records Template A method for including essential records information in your agency’s COOP Plan

Essential Records Template Format(s) of Record Access Priority Level (See key) Access Timeframe Location of Original (include computer name & path for electronic records) Accessible at Alternative Facility? Backed Up at Third Location Maintenance Frequency Prevention/ Mitigation Strategies EXAMPLE: Delegation of Authority Hardcopy and .pdf file Priority 1 Immediately, within 0–12 hours of the event Deputy Administrator’s Office, Washington Grove facility. GBaxter on ‘gandalf\userdirs$\My_Documents\Disaster\DofA’ Records storage facility Office of the Administrator, Springfield Facility, 2nd floor, Office 213b, top drawer of file cabinet next to secretary’s desk Bi-weekly Backup tapes of Gandalf server

Don’t Forget Your Stakeholders Your network of stakeholders is invaluable for integrating your essential records emergency planning with your agency’s current COOP Plan COOP Manager Emergency Managers Agency head IT director Legal and accounting staff Records management personnel Custodians of archival records Agencies or outside organizations

Course Review You know how to: Identify records that need to be designated as essential Identify and evaluate risks to essential records Protect essential records Ensure continued access to essential records during and after an emergency Incorporate essential records into a COOP Plan by using the Essential Records Template

Next Steps Use what you’ve learned Learn more about records Identify and protect your essential records Incorporate them in your agency’s COOP Plan Learn more about records Take the IPER Records Emergency Planning and Response Webinar Contact your state archives and records management program and/or Agency Records Manager for advice on records scheduling, storage, digitization standards, and more Stay informed and connected Visit the IPER Resource Center often

Course Evaluations and Course Certificates

Essential Records Post-Test

Thank You! 29